Jannell A. Martin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jannell Annette Martin, who also goes by Jannell Martin Pridgeon, was a registered financial professional .
Jannell is a previously registered financial professional and started their career in finance in 1985. Jannell had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2018 - February 3, 2022
THE MOORINGS GROUP, LLC
December 9, 2016 - September 26, 2017
MORGAN STANLEY
June 26, 2007 - March 9, 2016
TRUIST SECURITIES, INC.
May 16, 2006 - June 15, 2007
TRUIST INVESTMENT SERVICES, INC.
September 1, 2004 - April 24, 2006
TMC BONDS L.L.C.
November 18, 2003 - March 30, 2004
STERNE, AGEE & LEACH, INC.
September 24, 1985 - July 8, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
THE MOORINGS GROUP, LLC
CRD#: 129403 / SEC#: 801-63917
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE MOORINGS GROUP, LLC
CRD#: 129403 / SEC#: 801-63917
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 223 |
| AUM (Assets Under Management) | $ 470,300,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
